Search for: "Securities and Exchange Commission"
Results 1041 - 1060
of 22,484
Sorted by Relevance
|
Sort by Date
27 Jun 2024, 7:00 am
The Supreme Court stripped the Securities and Exchange Commission of a major tool in fighting securities fraud. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
19 Apr 2010, 10:49 am
Fabrice Tourre, the 31-year-old Goldman Sachs vice president cited by the Securities and Exchange Commission in their accusation of securities fraud against the bank, followed a beaten path from the French grandes ecoles to Wall Street. [read post]
27 Apr 2011, 10:32 pm
Fact sheet: "The Securities and Exchange Commission voted unanimously to propose rules further defining the terms “swap,” “security-based swap,” and... [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
26 Jul 2010, 9:32 am
White Collar Watch examines how the Dodd-Frank Act, now law, enables the Securities and Exchange Commission to encourage whistle-blowers who reveal a broad array of securities fraud. [read post]
23 Apr 2010, 5:00 pm
The Securities and Exchange Commission's inspector general said Friday that he would investigate the timing of the agency's securities fraud case against Goldman Sachs. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
9 Aug 2012, 7:17 am
Goldman Sachs disclosed in a securities filing that an investigation into a $1.3 billion subprime mortgage deal in 2006 has ended without any enforcement action by the Securities and Exchange Commission. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
6 Dec 2022, 10:00 pm
At its next open meeting on December 14, 2022, the US Securities and Exchange Commission is expected to propose a series of rules and rule amendments that have the potential to fundamentally reshape the structure of the US securities markets. [read post]
17 Apr 2010, 12:21 pm
Paulson has found himself in an uncomfortable spotlight even though the Securities and Exchange Commission did not charge him along with Goldman Sachs with securities fraud. [read post]
16 Apr 2010, 7:46 am
Goldman Sachs was accused of securities fraud in a civil suit filed Friday by the Securities and Exchange Commission, which claims the bank created and sold a mortgage investment that was secretly devised to fail. [read post]
14 Oct 2010, 10:42 pm
Talks over settling at least part of the securities fraud lawsuit filed by the Securities and Exchange Commission against three former executives of the Countrywide Financial Corporation have intensified, two people involved with the case said Thursday. [read post]
14 Oct 2008, 5:16 am
Securities and Exchange Commission, Office of Inspector General - SEC â [read post]
1 Jun 2009, 3:54 pm
Securities and Exchange Commission (SEC) Office of Inspector General â [read post]
15 Sep 2015, 9:02 am
In what will surely not be the last word on this continuing controversy, on September 3, 2015, a majority of the members of the Securities and Exchange Commission held that the appointment process for the Commission’s administrative law judges (“ALJ”) does not violate the Constitution. [read post]
19 Mar 2024, 12:49 pm
The Securities and Exchange Commission announced that Genesis Global Capital, LLC agreed to a final judgment ordering it to pay a $21 million civil penalty and imposing a permanent injunction to settle charges that it engaged in the unregistered offer and sale of securities through a crypto asset lending program known as the Gemini Earn program. [read post]
16 Oct 2012, 9:30 pm
Talk of a securities market “kill switch” dominated discussions in a recent Securities and Exchange Commission (SEC) Market Technology Roundtable. [read post]
